DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Advisor moves

Arrivals at Cape Investment Advisory, Inc.

A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.

AdvisorFromToTypeLeftRegistered
Anthony D AbramsRegal Investment Advisors LLC BD affiliatedCape Investment Advisory, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAJul 16, 2026Jul 29, 2026
Christopher Alex CokinisLincoln Investment independent RIACape Investment Advisory, Inc. independent RIARIA to RIAJun 25, 2026Jul 14, 2026
Hunter Wilhelm FreyGlobal Investment Advisory independent RIACape Investment Advisory, Inc. independent RIARIA to RIAFeb 3, 2026Jun 17, 2024
Daniel Gerard MeehanBfc Planning, Inc. BD affiliatedCape Investment Advisory, Inc. independent RIAAffiliated broker-dealer or bank to independent RIADec 15, 2025Aug 21, 2026 (249 d)
Brian Lon BiedermanInnovation Partners LLC no RAUMCape Investment Advisory, Inc. independent RIAOtherSep 12, 2025Aug 15, 2025
James David MayTerra Wealth independent RIACape Investment Advisory, Inc. independent RIARIA to RIAApr 28, 2025Nov 24, 2025 (210 d)
Zohaib TariqPruco Securities, LLC BD affiliatedCape Investment Advisory, Inc. independent RIAAffiliated broker-dealer or bank to independent RIASep 30, 2024Jan 27, 2025 (119 d)
Kevin RossBridgeway Wealth Partners, LLC independent RIACape Investment Advisory, Inc. independent RIARIA to RIADec 31, 2023Oct 23, 2023
Kevin Scott BachmannIntervest International, Inc. independent RIACape Investment Advisory, Inc. independent RIARIA to RIAAug 2, 2022Oct 14, 2022 (73 d)
Monica Elena ZamfirFidelity Personal And Workplace Advisors BD affiliatedCape Investment Advisory, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAJun 22, 2022Jul 26, 2022 (34 d)
Roy Paul SmithEdward Jones national BDCape Investment Advisory, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAApr 7, 2022Apr 5, 2024 (729 d)
William Campbell Monroe IIICreativeone Wealth, LLC independent RIACape Investment Advisory, Inc. independent RIARIA to RIAFeb 24, 2022Feb 25, 2022
Nicholas John SchlagheckCapital Analysts BD affiliatedCape Investment Advisory, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAJan 11, 2022Aug 29, 2022 (230 d)
Daniel Christopher SchlefStifel Independent Advisors, LLC BD affiliatedCape Investment Advisory, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAJan 10, 2022Jan 28, 2022
David Scott WeltonHobart Wealth independent RIACape Investment Advisory, Inc. independent RIARIA to RIAJun 9, 2021Jun 9, 2021
Danita Marie YetterPruco Securities, LLC BD affiliatedCape Investment Advisory, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAJan 6, 2021Mar 26, 2021 (79 d)
Victor F ConchaAdvice And Planning Services BD affiliatedCape Investment Advisory, Inc. independent RIAAffiliated broker-dealer or bank to independent RIANov 13, 2020Jan 7, 2021 (55 d)
Jamison Richard BannaKms Financial Services, Inc BD affiliatedCape Investment Advisory, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAOct 9, 2020Oct 9, 2020
Darwin Junior DeesGwn Securities Inc. BD affiliatedCape Investment Advisory, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAMay 12, 2020Jun 3, 2020
Trevor MaxwellKms Financial Services, Inc BD affiliatedCape Investment Advisory, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAMay 1, 2020Sep 29, 2020 (151 d)
Harold James KnightRaymond James Financial Services Advisors, Inc BD affiliatedCape Investment Advisory, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAMar 30, 2020May 18, 2021 (414 d)
William S MorrisCalton & Associates, Inc. independent RIACape Investment Advisory, Inc. independent RIARIA to RIAFeb 4, 2020Apr 6, 2020 (62 d)
Karen Meyer HollandHobart Wealth independent RIACape Investment Advisory, Inc. independent RIARIA to RIANov 4, 2019Sep 21, 2020 (322 d)
Eric Joseph EdwardsCuna Brokerage Services, Inc. BD affiliatedCape Investment Advisory, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAOct 3, 2019Feb 25, 2020 (145 d)
Roy Edward Kelsey401k Generation independent RIACape Investment Advisory, Inc. independent RIARIA to RIAMar 1, 2019Mar 1, 2019
Michael Haskel NessimNfsg Corporation BD affiliatedCape Investment Advisory, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAFeb 22, 2019Jul 3, 2019 (131 d)
David SalinasNfsg Corporation BD affiliatedCape Investment Advisory, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAFeb 22, 2019Jul 29, 2019 (157 d)
John Bradley Weis401k Generation independent RIACape Investment Advisory, Inc. independent RIARIA to RIAFeb 21, 2019Jan 8, 2021 (687 d)
Robert Firmin Farragher401k Generation independent RIACape Investment Advisory, Inc. independent RIARIA to RIAFeb 13, 2019Jan 20, 2026 (2533 d)
Victor Patrick WilkersonAdvocacy Wealth Management, LLC independent RIACape Investment Advisory, Inc. independent RIARIA to RIADec 11, 2018Feb 20, 2019 (71 d)
John Earle RedfearnFiduciary Solutions, LLC unclassifiedCape Investment Advisory, Inc. independent RIAOtherDec 31, 2017Apr 2, 2018 (92 d)
Lacey Lynn RobertsWbb Securities, LLC state registeredCape Investment Advisory, Inc. otherOtherSep 1, 2017Aug 8, 2017
David Brian BellLegend Advisory, LLC otherCape Investment Advisory, Inc. otherOtherAug 3, 2017Aug 29, 2017
David Jaindl MartinWbb Securities, LLC state registeredCape Investment Advisory, Inc. otherOtherJul 24, 2017Aug 8, 2017
Glen Jay BarberBarber Lackey Financial Group LLC unclassifiedCape Investment Advisory, Inc. otherOtherDec 31, 2016Jan 17, 2017
Gerald Paul DietzKeystone Capital Corporation otherCape Investment Advisory, Inc. otherOtherOct 31, 2016Feb 11, 2018 (468 d)
Karen Radigan TurnerDavenport & Company LLC otherCape Investment Advisory, Inc. otherOtherAug 29, 2016Aug 31, 2016
Paul Joseph JacobsCaldwell International Securities unclassifiedCape Investment Advisory, Inc. otherOtherAug 5, 2016Apr 6, 2017 (244 d)
Samuel Bruce PhillipsAmeritas Advisory Services otherCape Investment Advisory, Inc. otherOtherJul 29, 2016Sep 5, 2017 (403 d)
Terry StoorCharles Schwab & Co., Inc. national BDCape Investment Advisory, Inc. otherOtherMay 11, 2016Aug 28, 2017 (474 d)
Wayne Harris SandersJanney Montgomery Scott LLC otherCape Investment Advisory, Inc. otherOtherMar 4, 2016Mar 15, 2016
Francois Roger BigotBb&T Investment Services, Inc. no RAUMCape Investment Advisory, Inc. otherOtherJul 1, 2015Jul 1, 2015
Thomas Steven WegnerWells Fargo Advisors wirehouseCape Investment Advisory, Inc. otherOtherMar 25, 2015Apr 23, 2015
Nicholas Edward DonaldsonPark Avenue Securities LLC otherCape Investment Advisory, Inc. otherOtherFeb 4, 2015Feb 4, 2015
Logan Brooks LowreyPnc Wealth Management otherCape Investment Advisory, Inc. otherOtherNov 21, 2014Jul 9, 2015 (230 d)
Clinton Wayne CopelandResource Horizons Investment Advisory, Inc. otherCape Investment Advisory, Inc. otherOtherDec 31, 2013Jan 23, 2014
Antan R WilsonJ P Turner & Company Capital Management, LLC otherCape Investment Advisory, Inc. otherOtherOct 3, 2012Nov 9, 2012 (37 d)
Gary Leo WargoEquitable Advisors, LLC national BDCape Investment Advisory, Inc. otherOtherAug 22, 2012Aug 24, 2012
Christopher Owen MorrisTransamerica Financial Advisors, LLC otherCape Investment Advisory, Inc. otherOtherJul 5, 2012Jul 30, 2012
John Earle RedfearnHegemon Investment Advisors, LLC unclassifiedCape Investment Advisory, Inc. otherOtherMay 31, 2012Jan 16, 2013 (230 d)
Jeffery Adam HardinCl Wealth Management LLC otherCape Investment Advisory, Inc. otherOtherFeb 22, 2012Jan 16, 2013 (329 d)
Felicia Curry JacksonMsi Financial Services, Inc. otherCape Investment Advisory, Inc. otherOtherJun 21, 2011Jul 1, 2011
Edward Reese BrooksSpc otherCape Investment Advisory, Inc. otherOtherAug 25, 2010Sep 27, 2010 (33 d)
Gregory Patrick KlinglerInvestment Advisors Corp otherCape Investment Advisory, Inc. otherOtherApr 6, 2010May 4, 2010
Christopher David FagioloSsn Advisory, Inc. otherCape Investment Advisory, Inc. otherOtherApr 1, 2010Mar 7, 2014 (1436 d)
David Elliot ErbMML Investors Services, LLC otherCape Investment Advisory, Inc. otherOtherDec 21, 2009Jan 13, 2010
Stephen Greeson EnochsAura Asset Management, Inc. unclassifiedCape Investment Advisory, Inc. otherOtherNov 16, 2009Jan 22, 2010 (67 d)
Andre Michael JanasikAura Asset Management, Inc. unclassifiedCape Investment Advisory, Inc. otherOtherNov 16, 2009Nov 18, 2009
David Gregory WursterJ. W. Cole Advisors, Inc. otherCape Investment Advisory, Inc. otherOtherSep 25, 2009May 5, 2010 (222 d)
Allan Lawson HarknessSsn Advisory, Inc. otherCape Investment Advisory, Inc. otherOtherJul 17, 2009Nov 19, 2010 (490 d)
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63 moves match.